Filing Details

Accession Number:
0001144204-15-046552
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-08-05 16:48:32
Reporting Period:
2015-08-03
Filing Date:
2015-08-05
Accepted Time:
2015-08-05 16:48:32
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
922521 Falconstor Software Inc FALC Services-Prepackaged Software (7372) 770216135
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1272935 Jr M Martin Hale 17 State Street, Suite 3230
New York NY 10004
Yes No Yes Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2015-08-03 41,433 $1.40 41,433 No 4 P Indirect See footnotes
Common Stock Acquisiton 2015-08-04 181,758 $1.50 223,191 No 4 P Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnotes
No 4 P Indirect See footnotes
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 20,000 Direct
Footnotes
  1. The shares of common stock (the "Common Stock") of Falconstor Software Inc. (the "Issuer") reported herein are held by HCP-FVA, LLC, a Delaware limited liability company ("HCP-FVA"). Hale Capital Partners, LP, a Delaware limited partnership ("HCP"), is the sole member of HCP-FVA.
  2. Martin M. Hale, Jr. ("MH") is the Chief Executive Officer of HCP. MH is also (i) the sole owner and managing member of Hale Fund Partners, LLC, a Delaware limited liability company ("HFP"), the general partner of HCP and (ii) the sole owner and Chief Executive Officer of Hale Fund Management, LLC, a Delaware limited liability company ("HFM"). HFM is (i) the general partner of Hale Capital Management, LP ("HCM"), the manager of HCP and (ii) the manager of HCP-FVA. Each of MH, HFP, HFM and HCM disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest.